Securities

Order imposing terms, conditions, and undertakings in the connection with registration under the Vermont Uniform Securities Act. 

Summary: As a result of its relationship with Banker’s Life & Company, UVEST has materially aided an act, practice or course of business constituting a violation of Vermont Uniform Securities Act (2002) or a rule adopted or order issued thereunder, and such conduct is grounds for an order imposing sanctions under 9 V.S.A § 5604.

This order explains that certain advisers to private funds are now subject to regulation by the Securities and Exchange Commission as investment advisers.

Order imposing terms, conditions and undertakings in connection with registration under the Vermont Uniform Securities Act.

This Rule sets forth standards to protect consumers from misleading and fraudulent marketing practices with respect to the use of senior-specific certifications and professional designations in the offer, sale, or purchase of securities or insurance, or in the providing of investment advice regarding securities or insurance.
 

The Bulletin sets forth BISHCA's policies regarding the providing of investment advice by insurance producers. 

Order imposing terms, conditions and undertaking in connection with registration under the Vermont Uniform Securities Act.

Order imposing terms, conditions and undertaking in connection with registration under the Vermont Uniform Securities Act.

Statement: Order imposing terms, conditions, and undertakings in the connection with registration under the Vermont Uniform Securities Act.